Prepare Your Job Application

I just read this: Investment News Article about Well-Paid FINRA Execs .

Does it explain this: Notice 09-68 about Fee Changes (and Renewal Increases) ?

and this: Notice 09-67 about Reg Element Fee Increases ?

Wow.

Change of Accountant?

Hey, if you hired a new accountant to do your year-end audit, remember that you have to tell SEC about it. You can find the Designation of Accountant form at this link:

http://www.finra.org/web/groups/industry/@ip/@comp/@regis/documents/industry/p009841.pdf


Here is the delivery information I have:

Constance Jackson
SECURITIES AND EXCHANGE COMMISSION
mailstop - 6628
100 F Street, NE
Washington, DC 20549
fax # 202 772 9273
phone # 202 551 5526

My notes say this is due by December 10. So if you haven't done this yet, hurry.

Rule Reference: SEC 17a-5(f)(2)